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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

TOWER SQUARE SECURITIES, INC.

CRD 833

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cd65fb9d-c479-b244-1ca6-95070b8788b6

Data as of May 8, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 237
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2012 to May 8, 2013
8 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $299MItem 5.F on the latest filing (2013-05-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $50.2M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1,117
Advisory employees: 189
Accounts: 2,129
SEC number: 801-50585
CRD: 833
Filings on the tape: 8
First filed: Mar 26, 2012
Latest filed: May 8, 2013
Organised: Corporation, Connecticut

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AQUINO, VIRGELAN ERNESTO	CHIEF COMPLIANCE OFFICER, BROKER DEALER	Na	yes	10/2007	Mar 26, 2012	May 8, 2013
CARRIER, ANDRE THEODORE	CHIEF OPERATIONS OFFICER	Na	yes	04/2013	Apr 18, 2013	May 8, 2013
COHN, MARC ALLAN	CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER	Na	yes	10/2006	Mar 26, 2012	May 8, 2013
DWYER, JAMES	VICE PRESIDENT, LICENSING AND REGISTRATION	Na	yes	08/2006	Mar 26, 2012	May 8, 2013
FORGET, ELIZABETH MARY	Director	Na	yes	06/2012	Nov 20, 2012	May 8, 2013
HALPERIN, JEFFREY PAUL	ANTI-MONEY LAUNDERING OFFICER	Na	yes	04/2006	Mar 26, 2012	May 8, 2013
LACEK, MICHAEL J	CHIEF LEGAL OFFICER	Na	yes	03/2008	Mar 26, 2012	May 8, 2013
MARKHAM, CRAIG WILLIAM	PRESIDENT AND DIRECTOR	Na	yes	07/2005	Mar 26, 2012	May 8, 2013
MARTINEZ, JOHN GREGORY	VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL	Na	yes	05/2007	Mar 26, 2012	May 8, 2013
METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY)	Shareholder	E	yes	03/1996	Mar 26, 2012	May 8, 2013
METLIFE, INC.	Parent	E	yes	07/2005	Mar 26, 2012	May 8, 2013
PLAZA LLC	DIRECT OWNER	E	yes	03/1996	Mar 26, 2012	May 8, 2013
TORRES, ISAAC	Secretary	Na	yes	05/2010	Mar 26, 2012	May 8, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
METLIFE INVESTMENT MANAGEMENT, LLC	n/a	Institutional manager	$564B	N	yes	n/a
METLIFE SECURITIES INC.	n/a	Former SEC adviser	$14B	N	yes	n/a
NEW ENGLAND SECURITIES CORPORATION	n/a	Former SEC adviser	$5.3B	N	yes	n/a
WALNUT STREET SECURITIES, INC.	n/a	Former SEC adviser	$1.1B	N	yes	n/a
FIRST METLIFE INVESTORS INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
GENERAL AMERICAN LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
METLIFE ADVISORS LLC	n/a	n/a	n/a	N	yes	n/a
METLIFE INSURANCE COMPANY OF CONNECTICUT	n/a	n/a	n/a	N	yes	n/a
METLIFE INVESTORS DISTRIBUTION COMPANY	n/a	n/a	n/a	N	yes	n/a
METLIFE INVESTORS INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
METLIFE INVESTORS USA INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
METROPOLITAN LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
METROPOLITAN TOWER LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
NEW ENGLAND LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
GLENDALE,	CA	United States	n/a	no
Cromwell	Ct	United States	n/a	no
Naperville	IL	United States	n/a	no
Arlington	Va	United States	n/a	no
Bristol	Vt	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 22, 2013	$299M	$50.2M	1,117	189	n/a	n/a	n/a
2011	Mar 26, 2012	$270M	$46.6M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$299M	$270M	10.8%	n/a	n/a	1,117	n/a	n/a	n/a

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MSI FINANCIAL SERVICES, INC.	2	Mar 25, 2017	Nov 21, 2011	AURORA, IL	Team lift out	Other	0.1%
MSI FINANCIAL SERVICES, INC.	2	Mar 25, 2017	Jul 12, 2011	FLEMINGTON, NJ	Team lift out	Other	0.1%

Relationships

showing 80 of 237

Affiliated with (5)

→ METLIFE INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ WALNUT STREET SECURITIES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← WALNUT STREET SECURITIES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (13)

← MARKHAM, CRAIG WILLIAMOwnerPRESIDENT AND DIRECTOR, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← MARTINEZ, JOHN GREGORYOwnerVICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← CARRIER, ANDRE THEODOREOwnerCHIEF OPERATIONS OFFICER, ownership code NA, individual
Apr 18, 2013 to presentfactForm ADV
← COHN, MARC ALLANOwnerCHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← FORGET, ELIZABETH MARYOwnerDIRECTOR, ownership code NA, individual
Nov 20, 2012 to presentfactForm ADV
← HALPERIN, JEFFREY PAULOwnerANTI-MONEY LAUNDERING OFFICER, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← AQUINO, VIRGELAN ERNESTOOwnerCHIEF COMPLIANCE OFFICER, BROKER DEALER, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← DWYER, JAMESOwnerVICE PRESIDENT, LICENSING AND REGISTRATION, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← LACEK, MICHAEL JOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY)OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 26, 2012 to presentfactForm ADV
← METLIFE, INC.OwnerPARENT, ownership code E, domestic entity
Mar 26, 2012 to presentfactForm ADV
← PLAZA LLCOwnerDIRECT OWNER, ownership code E, domestic entity
Mar 26, 2012 to presentfactForm ADV
← TORRES, ISAACOwnerSECRETARY, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV

Registered with (62)

← Steven MorganAdvisorregistration: previous registration
Aug 31, 2012 to Sep 5, 2013factForm ADV
← KIMBERLY CHRISTINE RICCOBONIAdvisorregistration: previous registration
Nov 21, 2011 to Sep 5, 2013factForm ADV
← JOSEPH THOMAS KURZEJAAdvisorregistration: previous registration
Jul 29, 2008 to Sep 5, 2013factForm ADV
← Barry James GilraneAdvisorregistration: previous registration
Nov 14, 2012 to Sep 5, 2013factForm ADV
← SHELLEY JO ECHEVERRIAAdvisorregistration: previous registration
Jul 19, 2005 to Sep 5, 2013factForm ADV
← Sean David SpellmanAdvisorregistration: previous registration
Aug 24, 2007 to Sep 5, 2013factForm ADV
← DAVID JOSEPH WATSONAdvisorregistration: previous registration
Jul 13, 2011 to Sep 5, 2013factForm ADV
← STEPHEN ANDREW CASSIDYAdvisorregistration: previous registration
Jul 12, 2011 to Sep 5, 2013factForm ADV
← DAHMEN M LARIVIEREAdvisorregistration: previous registration
Aug 12, 2011 to Sep 5, 2013factForm ADV
← Dianne Kollette RizzoAdvisorregistration: previous registration
Jul 21, 2010 to Sep 5, 2013factForm ADV
← ERICH H. CASSIDYAdvisorregistration: previous registration
May 31, 2011 to Sep 5, 2013factForm ADV
← Casey James DavisonAdvisorregistration: previous registration
Dec 16, 2005 to Sep 5, 2013factForm ADV
← JOYCE KWANWA CHANAdvisorregistration: previous registration
Sep 23, 2008 to Sep 5, 2013factForm ADV
← BRYAN JAMES BACCAROAdvisorregistration: previous registration
Dec 22, 2010 to Sep 4, 2013factForm ADV
← Karen O'KaneAdvisorregistration: previous registration
Nov 29, 2011 to Sep 4, 2013factForm ADV
← KEVIN GERARD EARLSAdvisorregistration: previous registration
May 27, 2004 to Sep 3, 2013factForm ADV
← SCOTT GREGORY BOLITHOAdvisorregistration: previous registration
Jan 1, 1999 to Sep 3, 2013factForm ADV
← KIPP LEE NEWMANAdvisorregistration: previous registration
Jun 1, 2004 to Sep 3, 2013factForm ADV
← THOMAS HENRY MAIKOWSKIAdvisorregistration: previous registration
Oct 21, 2004 to Sep 3, 2013factForm ADV
← Jeffrey Thomas KellettAdvisorregistration: previous registration
Jun 2, 2004 to Sep 3, 2013factForm ADV
← JEFFREY ALLAN SCHNEIDERAdvisorregistration: previous registration
Jul 29, 2003 to Sep 3, 2013factForm ADV
← CHARLES HUGH LAUGHRIDGEAdvisorregistration: previous registration
Dec 31, 2001 to Sep 3, 2013factForm ADV
← RICHARD S DOERINGERAdvisorregistration: previous registration
Aug 15, 2007 to Sep 3, 2013factForm ADV
← William Matthew LafondAdvisorregistration: previous registration
Jun 2, 2004 to Sep 3, 2013factForm ADV
← FRANK ANDREAS HOESCHELAdvisorregistration: previous registration
Oct 7, 1999 to Sep 3, 2013factForm ADV
← THOMAS ANTHONY HENNESSYAdvisorregistration: previous registration
Jul 20, 2000 to Sep 3, 2013factForm ADV
← JAMES ANDREW LEVINEAdvisorregistration: previous registration
May 16, 2003 to Sep 3, 2013factForm ADV
← JOHN LOWRY ARNOTAdvisorregistration: previous registration
Dec 1, 1998 to Sep 3, 2013factForm ADV
← SCOTT CHARLES MODELLAdvisorregistration: previous registration
Aug 19, 2008 to Sep 3, 2013factForm ADV
← MICHAEL ALAN KRAMERAdvisorregistration: previous registration
Jun 1, 2004 to Sep 3, 2013factForm ADV
and 32 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd65fb9d-c479-b244-1ca6-95070b8788b6
First observed: Mar 26, 2012
Last observed: May 8, 2013 162 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

TOWER SQUARE SECURITIES, INC.

CRD 833

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cd65fb9d-c479-b244-1ca6-95070b8788b6

Data as of May 8, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:22 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AQUINO, VIRGELAN ERNESTO

CHIEF COMPLIANCE OFFICER, BROKER DEALER

yes

10/2007

Mar 26, 2012

May 8, 2013

CARRIER, ANDRE THEODORE

CHIEF OPERATIONS OFFICER

yes

04/2013

Apr 18, 2013

May 8, 2013

COHN, MARC ALLAN

CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER

yes

10/2006

Mar 26, 2012

May 8, 2013

DWYER, JAMES

VICE PRESIDENT, LICENSING AND REGISTRATION

yes

08/2006

Mar 26, 2012

May 8, 2013

FORGET, ELIZABETH MARY

Director

yes

06/2012

Nov 20, 2012

May 8, 2013

HALPERIN, JEFFREY PAUL

ANTI-MONEY LAUNDERING OFFICER

yes

04/2006

Mar 26, 2012

May 8, 2013

LACEK, MICHAEL J

CHIEF LEGAL OFFICER

yes

03/2008

Mar 26, 2012

May 8, 2013

MARKHAM, CRAIG WILLIAM

PRESIDENT AND DIRECTOR

yes

07/2005

Mar 26, 2012

May 8, 2013

MARTINEZ, JOHN GREGORY

VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL

yes

05/2007

Mar 26, 2012

May 8, 2013

METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY)

Shareholder

yes

03/1996

Mar 26, 2012

May 8, 2013

METLIFE, INC.

Parent

yes

07/2005

Mar 26, 2012

May 8, 2013

PLAZA LLC

DIRECT OWNER

yes

03/1996

Mar 26, 2012

May 8, 2013

TORRES, ISAAC

Secretary

yes

05/2010

Mar 26, 2012

May 8, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

METLIFE INVESTMENT MANAGEMENT, LLC

n/a

Institutional manager

$564B

yes

n/a

METLIFE SECURITIES INC.

n/a

Former SEC adviser

$14B

yes

n/a

NEW ENGLAND SECURITIES CORPORATION

n/a

Former SEC adviser

$5.3B

yes

n/a

WALNUT STREET SECURITIES, INC.

n/a

Former SEC adviser

$1.1B

yes

n/a

FIRST METLIFE INVESTORS INSURANCE COMPANY

n/a

yes

n/a

GENERAL AMERICAN LIFE INSURANCE COMPANY

n/a

yes

n/a

METLIFE ADVISORS LLC

n/a

yes

n/a

METLIFE INSURANCE COMPANY OF CONNECTICUT

n/a

yes

n/a

METLIFE INVESTORS DISTRIBUTION COMPANY

n/a

yes

n/a

METLIFE INVESTORS INSURANCE COMPANY

n/a

yes

n/a

METLIFE INVESTORS USA INSURANCE COMPANY

n/a

yes

n/a

METROPOLITAN LIFE INSURANCE COMPANY

n/a

yes

n/a

METROPOLITAN TOWER LIFE INSURANCE COMPANY

n/a

yes

n/a

NEW ENGLAND LIFE INSURANCE COMPANY

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

GLENDALE,

United States

n/a

Cromwell

United States

n/a

Naperville

United States

n/a

Arlington

United States

n/a

Bristol

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 22, 2013

$299M

$50.2M

1,117

189

n/a

2011

Mar 26, 2012

$270M

$46.6M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$299M

$270M

10.8%

n/a

1,117

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MSI FINANCIAL SERVICES, INC.

Mar 25, 2017

Nov 21, 2011

AURORA, IL

Team lift out

Other

0.1%

MSI FINANCIAL SERVICES, INC.

Mar 25, 2017

Jul 12, 2011

FLEMINGTON, NJ

Team lift out

Other

0.1%